SECURITIES AND EXCHANGE COMMISSION

 

SEC FORM AuF-002

INITIAL APPLICATION FOR ACCREDITATION OF

AN AUDITING FIRM

 

1. Name of Firm:……………………………….....………………………………………………….

2. SEC Certificate of Registration No. (if a registered partnership)………….....….....……….

3. BOA/PRC Registration No…………………… Date Granted: ………………...…..…………

4. Telephone/Fax number and Complete Address:…………………………….......……………

5. Information on Currently Employed Auditors and Signing Partner/s

Full Name

Position

CPA Certificate/License Number

SEC Accreditation Number*

Status of SEC Accreditation

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

*If not yet accredited, so indicate and disclose qualifications including date of filing of application for accreditation. (Use separate sheet where necessary which must be certified as true and correct)

6. Related Foreign CPA/Auditing Firm (if any):

             

Name of Foreign Firm

Country

Nature and Extent of Relationship

 

 

 

 

 

 

 

 

7. Changes in the Firm from Last Accreditation:……………….………………………………..

…………………………………………………………………………………………………………

…………………………………………………………………………………………………………

8. Exhibits

  1. Copy of Privilege Tax Receipt (PTR);

  2. Certification that the Certificate of Registration as a public practitioner issued by BOA/PRC to the firm is still existing and effective;

  3. Copy of the firm’s Pro-Forma Audit Engagement Letter with prospective clients prepared in accordance with Annex “A” of this Circular and/or existing engagement contracts with clients;

  4. Summary of contracts/agreements with companies involving services other than statutory audit of financial statements.

  5. Notarized certification that the firm is in compliance with the general qualification requirements under Section 5.2 (i) to (ii) of SEC Circular No. ___, Series of 2002.

9. Processing Fee

This application for accreditation has been submitted along with the payment of the prescribed fee in the amount of ___________________ under O.R. No. ________________.

I hereby submit this duly accomplished Application on behalf of _______(name of the firm) and certify that the information contained herein are true and correct.

 

 

____________________________

Printed Name/Signature

 

____________________________

Position

 

 

Date: _________________________

 

Place:_________________________

 

 

 

 

J U R A T